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Reviewing Personnel Files and Data Requests at UMD



Revised February 24, 2014
Revised August 27, 2008
Revised October 27, 2011



POLICY STATEMENT

It is the policy of the University of Minnesota Duluth to comply with the University of Minnesota policies on personnel files and the Minnesota Government Data Practices Act to ensure that data is appropriately gathered, stored, and appropriately available to those who request it. This policy and related procedures may be modified by a collective bargaining agreement or change in state law. 

Website links to relevant University policies and the State statutes may be found at the end of this document.

SCOPE OF THE COVERAGE

This policy and the associated guidelines apply to all units on or associated with the UMD campus.  They are designed to provide guidance to all individuals who are involved with the creation, use, and/or maintenance of personnel data for all staff and faculty.  They also provide information for University staff and members of the public seeking personnel data.

The policy applies to all official personnel files for campus employees, including vitae, resume, appointment and reappointment letters, personnel action documents, compensation-related memos, commendation letters, disciplinary letters, information related to changes in appointment, non-medical leave requests and responses, performance appraisals (including annual goals, annual reviews, final reports of evaluation committees), and employee responses to those documents. Other employment-related documents may be added if the employee is notified of such addition and has a chance to review such document.

RESPONSIBILITY FOR ADMINISTERING THE POLICY

Faculty and Non-Faculty Academic Employees:

The Vice Chancellor for Finance and Operations or designee is responsible for maintaining the official personnel records of all faculty (that is, the Employment Record File), as well as non-faculty academic employees. It is also responsible for seeing that related sections in the UEA collective bargaining agreement are implemented in accordance with that Agreement and consistent with applicable laws.

Non-Represented Civil Service and Bargaining Unit Employees:

The Vice Chancellor for Finance and Operations is responsible for the official personnel files of all non-academic employees (represented and non-represented).

The UMD Director of Human Resources & Equal Opportunity is designated by the Vice Chancellor for Finance and Operations to be responsible for maintaining the personnel records of all academic and non-academic employees.

INTERNAL RECORDS REVIEW AND ACCESS - ALL ACADEMIC AND NON-ACADEMIC EMPLOYEES

Current employees may review their own official personnel files, once every six months, by submitting a written request to Human Resources & Equal Opportunity. Requests by employees to review their personnel file shall be complied with as soon as possible or within seven working days from the date of the request.  After review and upon written request, the employee may receive a copy of the file.

Upon written request, former employees may review the record once each year, for as long as the personnel record is maintained.  Or, the former employee may receive a one-time copy of the file, in lieu of the right to yearly review.

If an employee disputes specific information in the file, the employee must notify the appropriate administrator regarding the disputed information.  An agreement to revise or remove the material may occur or, if no agreement can be reached, the employee may submit a position statement, not to exceed five written pages, which must also be maintained in the personnel file.

Internal requests for personnel data by University staff other than the employee should be made to the appropriate office as identified above and are only available to those individuals within the University of Minnesota whose work assignments reasonably require access. If a requester's work assignment does not reasonably require access, the requester will be advised to submit a written request, under the Minnesota Government Data Practices Act, to the UMD Department of Human Resources & Equal Opportunity (UMD HR&EO), where the request will be reviewed, public data gathered, and an appropriate response provided.

EXTERNAL RECORDS REVIEW AND ACCESS - ALL ACADEMIC AND NON-ACADEMIC EMPLOYEES

When personnel data is being requested by anyone outside the University, the request must be made in writing and forwarded to the UMD Department of Human Resources & Equal Opportunity (UMD HR&EO), where it will be reviewed, data gathered, and the appropriate response provided. No information will be released in response to oral requests. If requested, copies shall be provided for a fee, which may include the costs of searching for and retrieving the data and for making, certifying, and compiling the copies. Copies will be provided within a reasonable time period and paid for by the requester prior to receipt of the materials.

UMD HR&EO will make a reasonable attempt to notify the affected employee(s) when a request is made by anyone outside the University for personnel data.

RELEVANT WEBSITE LINKS

RECORDS RETENTION:

Records will be kept as long as required by law or University policy.  The University of Minnesota Records Retention Schedule may be found at:
http://www.ogc1.umn.edu/stellent/groups/public/documents/webasset/da_031145.pdf

UNIVERSITY OF MINNESOTA POLICIES:

Public Access to University Information
http://policy.umn.edu/Policies/Operations/Compliance/PUBLICACCESS.html

Internal Access to University Information
http://policy.umn.edu/Policies/Operations/Compliance/INTERNALACCESS.html

Examples of Public, Private, and Confidential Information
http://policy.umn.edu/Policies/Operations/OPMisc/INTERNALACCESS_APPB.html

MINNESOTA STATUTES:

Review of Personnel Record by Employee (MS 181.961)
https://www.revisor.mn.gov/statutes/?id=181.961

Minnesota Government Data Practices Act (MS 13.01)
https://www.revisor.leg.state.mn.us/statutes/?id=13


© 2014 University of Minnesota Duluth
The University of Minnesota is an equal opportunity educator and employer.
Last modified on 04/08/14 02:48 PM
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